countries, such plan shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good

contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good management record as follows: (a) for the

must contain the scope or policy on investment, investment restrictions, and the customers’ right to obtain intelligible and adequate information on the private fund management. Furthermore, any

of funds ; (3) the investment and income generating activities of funds ; (4) the administration and management of funds in any matter other than (3). Clause 3 In addition to this Notification, a

Exchange Commission No. SorNor. 29/2549 Re: Acts that may Create Conflict of Interest on Fund Management and Protective Rules By virtue of Section 98(7)(b) and Section 126(1) of the Securities and Exchange

. KorNor. 22/2552 Re: Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management _____________ By virtue of Section 4 and Section 14 of the

of Section 9 and the third paragraph of Section 16 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberty of persons which Section 29

Derivatives _____________ By virtue of Section 9 and the third paragraph of Section 16 of the Derivatives Act B.E. 2546 (2003) which contain certain provisions relating to the restriction of rights and liberty

Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 12/2545 Re: Determination of Rules and Procedures for Actions by Management Companies against Incorrect Value of

) should be in line with the policy and management of enterprise risk and should contain the following matters at a minimum: (1) identification of IT-related risks; (2) assessment of risk which covers